Phillip S. Keegan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phillip St. John Keegan, who also goes by Phillip Stjohn Keegan, was a registered financial advisor .
Phillip is a previously registered financial advisor and started their career in finance in 1985. Phillip had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2003 - March 18, 2003
WELLS FARGO INVESTMENTS, LLC
March 6, 2003 - March 18, 2003
WELLS FARGO INVESTMENTS, LLC
May 29, 2002 - October 24, 2002
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 16, 2001 - May 29, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 11, 2001 - August 30, 2001
WELLS FARGO INVESTMENTS, LLC
February 8, 1999 - July 11, 2001
WELLS FARGO SECURITIES, LLC
October 21, 1997 - January 6, 1999
ROTH CAPITAL PARTNERS, LLC
September 21, 1992 - October 14, 1997
UBS FINANCIAL SERVICES INC.
August 25, 1989 - October 15, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 29, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
March 19, 1985 - December 9, 1988
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
